Financial Transactions and Regulatory Compliance Review

Covering the latest in capital markets transactions, funds, annuities, financial reporting and SEC filings

IPOs and Transactions: July 31 - August 4

There were 39 transactions filed with the SEC last week.

Congratulations to all of the corporations and law firms that selected our transactions services,  including BCB Bancorp Inc. w/ Covington & Burling LLP and IBIO Inc. w/ Andrew Abramowitz, PLLC. 

We appreciate that they selected to work with us and benefited from our decades of industry experience that enable us to take on any size deal and execute it to the highest industry standards.

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Account / Firm

Company Name

Symbol

Form Type

Industry

Clyde Snow & Sessions, PC

Sack Lunch Productions Inc

NXHD

1-A

6510 - Real estate operators (except developers) & lessors

Latham & Watkins LLP

Aratana Therapeutics Inc

PETX

S-3

2834 - Pharmaceutical preparations

Kline Law Group, PC

Beliss Corp

-

S-1

-

Miller Nash Graham & Dunn LLP

Craft Brew Alliance Inc

BREW

S-3

2082 - Malt beverages

Haneberg Hurlbert PLC

Reto Eco-Solutions Inc

-

F-1

3290 - Abrasive, asbestos & miscellaneous nonmetallic mineral products

K&L Gates LLP

Reto Eco-Solutions Inc

-

F-1

3290 - Abrasive, asbestos & miscellaneous nonmetallic mineral products

Zysman, Aharoni, Gayer and Sullivan & Worcester LLP

Micronet Enertec Technologies Inc

MICT

S-3

3679 - Electronic components, not elsewhere classified

Andrews Kurth Kenyon LLP

Flotek Industries Inc

FTK

S-3

2890 - Miscellaneous chemical products

H.C. Wainwright & Co., LLC

Aethlon Medical Inc

AEMD

S-1

3826 - Laboratory analytical instruments

Jolie Kahn, Esq.

Aethlon Medical Inc

AEMD

S-1

3826 - Laboratory analytical instruments

Fenwick & West LLP

Amyris Inc

AMRS

S-3

2860 - Industrial organic chemicals

Morgan, Lewis & Bockius LLP

Proteon Therapeutics Inc

PRTO

S-3

2836 - Biological products, except diagnostic substances

Davis Polk & Wardwell LLP

Kadmon Holdings Inc

KDMN

S-3

2834 - Pharmaceutical preparations

Kadmon Holdings, Inc.

Kadmon Holdings Inc

KDMN

S-3

2834 - Pharmaceutical preparations

Baker Botts L.L.P.

General Communication Inc

GNCMA

S-4

4813 - Telephone communications, except radiotelephone

Cravath, Swaine & Moore LLP

Ibm Credit Llc

-

S-3

6159 - Miscellaneous business credit institutions

Dechert LLP

Kkr Income Opportunities Fund

KIO

N-2

6722 - Management investment offices, open-end

DLA Piper LLP

Immunomedics Inc

IMMU

S-3

2835 - In vitro & in vivo diagnostic substances

Liberty Interactive Corp.

General Communication Inc

GNCMA

S-4

4813 - Telephone communications, except radiotelephone

Reed Smith LLP

Jaguar Health Inc

JAGX

S-3

2834 - Pharmaceutical preparations

Sherman & Howard, L.L.C.

General Communication Inc

GNCMA

S-4

4813 - Telephone communications, except radiotelephone

Cooley LLP

S&W Seed Co

SANW

S-3

0100 - Agricultural production-crops

The Southern Company

Mississippi Power Co

MP^D

S-3

4911 - Electric services

Troutman Sanders LLP

Mississippi Power Co

MP^D

S-3

4911 - Electric services

Aduro Biotech, Inc.

Aduro Biotech Inc

ADRO

S-3

2834 - Pharmaceutical preparations

Aduro Biotech, Inc.

Aduro Biotech Inc

ADRO

S-3

2834 - Pharmaceutical preparations

Akin Gump Strauss Hauer & Feld LLP

Genesis Energy Llc

GEL

S-3

5171 - Wholesale - petroleum bulk stations & terminals

Cerus Corporation

Cerus Corp

CERS

S-3

3841 - Surgical & medical instruments & apparatus

Cooley LLP

Aduro Biotech Inc

ADRO

S-3

2834 - Pharmaceutical preparations

Cooley LLP

Aduro Biotech Inc

ADRO

S-3

2834 - Pharmaceutical preparations

Cooley LLP

Cerus Corp

CERS

S-3

3841 - Surgical & medical instruments & apparatus

Dechert LLP

Great Elm Capital Corp

GECC

N-2

6799 - Investors, not elsewhere classified

Fairfield and Woods P.C.

Glacier Bancorp Inc

GBCI

S-4

6022 - State commercial banks

Haynes and Boone, LLP

Exco Resources Inc

XCO

S-3

1311 - Crude petroleum & natural gas

Kirkland & Ellis LLP

Vici Properties Inc

-

10-12G

6798 - Real estate investment trusts

Kirkland & Ellis LLP

Ichor Holdings Ltd

ICHR

S-1

3674 - Semiconductors & related devices

Latham & Watkins LLP

Ichor Holdings Ltd

ICHR

S-1

3674 - Semiconductors & related devices

Miller Nash Graham & Dunn LLP

Glacier Bancorp Inc

GBCI

S-4

6022 - State commercial banks

Skadden, Arps, Slate, Meagher & Flom LLP

Great Elm Capital Corp

GECC

N-2

6799 - Investors, not elsewhere classified

Snell & Wilmer L.L.P.

Meritage Homes Corp

MTH

S-4

1531 - Operative builders

VICI Properties Inc.

Vici Properties Inc

-

10-12G

6798 - Real estate investment trusts

Wilson Sonsini Goodrich & Rosati, P.C.

Pacific Biosciences Of California Inc

PACB

S-3

3826 - Laboratory analytical instruments

Loeb & Loeb LLP

Greenpro Capital Corp

-

S-1

7374 - Services - computer processing & data preparation

Lowenstein Sandler LLP

Prolung Inc

-

S-1

3841 - Surgical & medical instruments & apparatus

McDermott Will & Emery LLP

Prolung Inc

-

S-1

3841 - Surgical & medical instruments & apparatus

Mei & Mark LLP

Greenpro Capital Corp

-

S-1

7374 - Services - computer processing & data preparation

ProLung, Inc.

Prolung Inc

-

S-1

3841 - Surgical & medical instruments & apparatus

Action Stock Transfer Corp.

Strong Solutions Inc

-

10-12G

6531 - Real estate agents & managers (for others)

Andrews Kurth Kenyon LLP

Elio Motors Inc

-

S-1

3711 - Motor vehicles & passenger car bodies

Doida Law Group LLC

Elio Motors Inc

-

S-1

3711 - Motor vehicles & passenger car bodies

Duane Morris LLP

Elio Motors Inc

-

S-1

3711 - Motor vehicles & passenger car bodies

Freshfields Bruckhaus Deringer LLP

Seattle Spinco Inc

-

10-12G

-

Hewlett-Packard Enterprise Company

Seattle Spinco Inc

-

10-12G

-

Wachtell, Lipton, Rosen & Katz

Seattle Spinco Inc

-

10-12G

-

Carman Lehnhof Israelsen, LP

Nabufit Global Inc

AGRCD

S-1

4813 - Telephone communications, except radiotelephone

Latham & Watkins LLP

The New Home Company Inc

NWHM

S-4

1531 - Operative builders

Covington & Burling LLP

Bcb Bancorp Inc

BCBP

S-3

6035 - Savings institutions, federally chartered

Andrew Abramowitz, PLLC

Ibio Inc

IBIO

S-1

2834 - Pharmaceutical preparations

Workiva Inc.

Workiva Inc

WK

S-3

7372 - Services - prepackaged software

 

We’re pleased to share some exciting news with you: Toppan Vite announced a strategic rebrand to 'Toppan Vintage,’ reflecting its recent acquisition of Vintage and its plans for future international growth and expansion to solidify our status as one of the world’s top financial printing, communications and technology companies. Visit our website to learn more: Toppan Vintage

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Toppan Vintage

Toppan Vintage is a leading international financial printing, communications and technology company dedicated to delivering a hassle-free experience with the highest quality accuracy, reliability and value for your organization’s financial printing and communications needs.

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